Records creation and control: forms, reports management, audits and reports

Forms

• Carefully designed documents used to gather and transmit information necessary for operational functions and for historical records
• Electronic forms known as templates
• Blank forms stored electronically in a computerized information processing system

Forms management program

• A records management function designed to achieve the efficient collection and distribution of information through the use of forms

Objectives of forms management program

• Control creation of forms
• Eliminate obsolete forms
• Standardize forms
• Standardize and streamline distribution

Forms analysis

• Process of determining whether a form is necessary and, if so, how it should be designed for maximum efficiency
• Conduct forms survey
• Inventory by department of forms currently in use, or in stock
• Will help eliminate duplicate forms
• Evaluate flow of forms
• At least 75% of time required to process a form should be working time
• Eliminate inactive forms
• Establish form files
• Numeric (historic record of form)
• Functional (groups forms according to function, allows ready recognition of duplicate forms)
• Specifications (groups forms according to manner in which printed, e.g. carbonless, single sheet, continuous feed)
• Consolidate forms
• Evaluate forms design

Forms management procedures

• Policies must cover
• Originating forms
• Ordering forms
• Evaluating forms

Forms design

• Basic goal of forms design to:
• Facilitate collection and use of data
• Present good visual effect
• Minimize writing required
• Information in logical sequence
• Compatible with equipment used to fill out (computer, pen/pencil)
• Achieve printing economies
• Design on standard paper sizes
• Order appropriate quantities and select appropriate paper colour, quality and weight

Guidelines for forms design

• Divide form into parts
• Facilitate area: section, usually at top that provides info such as organization name, form no., instructions
• Working area: section of form that requests information necessary to achieve purpose for which form designed
• Allow adequate spacing
• Use clear captions
• Place ballot boxes in front of responses
• Make forms self-instructing
• Identify organization in all external forms
• Display date (original print date or most recent revision date)
• Show distribution and routing on forms

Computer forms

• Forms software can be used to design a variety of business forms
• Organizations with electronic equipment especially those with LANS and WANS should consider using electronic forms
• Users can access and submit without printing
• Electronic forms can save substantial printing costs
• Advantageous for forms needing frequent updating

Processing information with reports

• Reports are upward communication to management used for decision making
• Type of reports
• Activity: reflect participation of personnel in special activities
• Feeder: reflect contribution as in a production report
• Forecasts: provide projections
• Status: reflect existing conditions
• Summary: recapitulate activities
• Consolidated: compilation of existing data
• Onetime
• Special studies show results of research, development, operational testing re a particular program/problem

Types of reports

• Exclude from reports management program routine reports, e.g.
• Minutes of meetings
• Administrative procedures
• Technical manuals

Reports management program objectives

• Identify reports production and needs for these reports
• Provide visibility of report volume and its costs
• Control creation of new reports
• Establish a method of purging unnecessary reports from system
• Determine number of hours spent on report preparation
• Control distribution and provide audit controls
• Improve quality and true effectiveness of reports
• Promote exception reporting where appropriate
• Reduce number of items in reports through content analysis
• Consolidate, simplify, and standardize reports

Reports management procedures

• Reports inventory
• Reports questionnaire
• Need for report, suggestions for improvement, etc. 
• Review of completed questionnaire by records management
• Delete from distribution list those no longer requiring report
• Eliminate report if distribution reduced to zero
• Take follow-up actions to update distribution lists and improve reports based on comments made by recipients
• Prepare a report inventory log
• Report inventory log
• Summary of report questionnaire data

Reports files

• Functional reports file: maintains information about reports having a similar function
• Helps to minimize duplication
• Historical reports file: maintains history of each report
• Reports catalogue
• Often issued by large organizations
• Helps curtail need to print large copies of report as employees made aware that report available to them from central location

Audits and reports

• Control is the function that compares achieved results with planned goals
• Types of control
• Precontrol: purpose to eliminate problems before they occur
• Concurrent: identifies problems as they occur
• Feedback (aka postcontrol): focuses on results; takes place when work completed

Scope

• Control function monitors three major areas of records management
• Employee performance: reflected in administrative costs and productivity
• Information quality and quantity: central and primary link in the scope of the control subsystem
• Supplies and equipment use: monitor for waste

Responsibilities for records control

• Shared by those involved in creation and use of records and those involved in processing records
• Records creation and use
• Originator
• Recipient
• Administrative support staff
• Records processing
• Records manager
• Ultimately responsible for effectiveness of records control system
• To control creation and retention of records, records manager can:
• Approve requests for new reports
• Approve requests for new or revised forms
• Establish guidelines for use by all originators for an efficient flow of correspondence and directives
• Evaluate all requests for printing
• Department heads and supervisors
• Responsibilities largely in area of flow through and follow-up
• Records staff
• Responsible for major portion of records processing procedures
• Administrative support staff
• If no records centre and all records decentralized may have same responsibility for records as records staff

Auditing the records management system

• Audit: regularly scheduled examination and verification of a specific activity
• Audit trail: procedure that provides documentation for regular examination and verification

Types of audits

• Administrative
• Examines the overall system
• Questionnaire typically used
• Operational audit
• Examines specific processes within the system